Shawn Amblod

EMPOWER ADVISORY GROUP

DuBois, PA

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CRD#: 5170562

Professional summary

Shawn Amblod, CFP® is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Dubois, Pennsylvania and EMPOWER FINANCIAL SERVICES, INC. located in Franklinville, New Jersey.

Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Shawn has worked at 11 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

10/05/2022 - PSECU Financial Services (PFS) - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 160 Hours Per Month/160 Hours During Securities Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Amblod's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

December 1, 2022 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

DuBois, PA

Current

December 1, 2022 - Present

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

Franklinville, NJ

Past

July 25, 2022 - November 25, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

HARRISBURG, PA

Past

July 25, 2022 - November 25, 2022

LPL FINANCIAL LLC

CRD#: 6413

HARRISBURG, PA

Past

October 19, 2018 - July 19, 2022

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

DU BOIS, PA

Past

October 19, 2018 - July 19, 2022

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

June 18, 2018 - September 26, 2018

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

Dubois, PA

Past

June 18, 2018 - September 26, 2018

OSAIC INSTITUTIONS, INC.

CRD#: 35371

Dubois, PA

Past

January 2, 2018 - April 6, 2018

BB&T SECURITIES, LLC

RIA

CRD#: 142785

STATE COLLEGE, PA

Past

January 2, 2018 - April 6, 2018

BB&T SECURITIES, LLC

CRD#: 142785

STATE COLLEGE, PA

Past

July 3, 2017 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

STATE COLLEGE, PA

Past

July 3, 2017 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

STATE COLLEGE, PA

Past

September 7, 2016 - June 26, 2017

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

PITTSBURGH, PA

Past

June 22, 2016 - June 26, 2017

CITIZENS SECURITIES, INC.

CRD#: 39550

PITTSBURGH, PA

Past

June 3, 2013 - June 30, 2016

SECURITIES AMERICA, INC.

CRD#: 10205

CLEARFIELD, PA

Past

July 11, 2011 - June 13, 2013

LPL FINANCIAL LLC

CRD#: 6413

DUBOIS, PA

Past

August 25, 2008 - July 20, 2011

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

DUBOIS, PA

Past

April 1, 2008 - August 29, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

DUBOIS, PA

Past

October 15, 2007 - March 28, 2008

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

SHIPPENVILLE, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EMPOWER ADVISORY GROUP, LLC

ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC

CRD#: 112058 / SEC#: 801-58105

RIA

Registered Investment Advisory firm - (11/22/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Pennsylvania
(12/1/2022)

IAR

Pennsylvania
(12/1/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/6/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/10/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 9/26/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/11/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC

CRD#: 112058 / SEC#: 801-58105

RIA

Registered Investment Advisory firm - (11/22/2000 Approved)

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Contact information

Main Address

8515 East Orchard Rd 4t2, Greenwood Village, CO 80111

Mailing Address

Phone number

(866) 575-4977

Established

Firm type

Fiscal year end

# of Employees

822

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EMPOWER ADVISORY GROUP PERSONAL STRATEGY(R) WRAP FEE PROGRAM (11/25/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE FOR EMPOWER PREMIER IRA (9/22/2025)

EMPOWER ADVISORY GROUP FINANCIAL PLANNING SERVICE (9/19/2025)

EMPOWER PREMIER INVESTMENT ACCOUNT (9/19/2025)

EMPOWER ADVISORY GROUP WRAP FEE PROGRAM BROCHURE FOR EMPOWER MANAGED PORTFOLIOS (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & PROFESSIONAL MANAGEMENT PROGRAM (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE/MY TOTAL RETIREMENT (9/19/2025)

Regulatory assets under management

Total Number of Accounts	250,707
AUM (Assets Under Management)	$ 159,120,330,491

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/28/2025	Cover Page	Report
11/21/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Shawn Amblod

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Amblod's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

SECURITIES AMERICA, INC.

LPL FINANCIAL LLC

INVESTMENT PROFESSIONALS, INC.

MSI FINANCIAL SERVICES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/6/2016

Series 63

Date: 9/10/2007

Series 6TO

Date: 1/2/2023

SIE

Date: 9/26/2018

Series 7

Date: 10/11/2007

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EMPOWER ADVISORY GROUP, LLC

TRUST BUT VERIFY

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